Spartan Capital Securities (CRD# 146251) allegedly engaged in a years-long fraud in which it “defrauded customers by engaging in widespread...
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Alex Barron: FINRA Suspends Former IRC Securities Advisor
Former New York City-based financial advisor Alex Barron (CRD# 4394048) was recently sanctioned, suspended, and fined in connection with alleged rule violations. Financial Industry Regulatory Authority records show that he was previously registered as a broker with IRC Securities, and he is not currently registered as a broker.
Carlson Law Is Representing Howard Kavinsky Victim
Carlson Law is representing a former client of Howard Kavinsky and plans to file a legal claim regarding potential fraud and/or embezzlement. Howard Kavinsky is a former financial advisor that was most recently employed by Supreme Alliance (2024), B. Riley Wealth Management (2022-2024) and National Securities Corporation (2019-2022). He was permanently barred by the… Read More »
Investment Fraud in U.S. Reaches Record Levels
Unprecedented $4.57 Billion Lost to Investment Scams Last Year Tech-Savvy Millennials Fell for More Investment Scams Than Any Age Group A record 86.7% of Losses Involved Crypto Totaling $3.96 Billion Investment fraud is skyrocketing and has become the No. 1 costliest type of fraud in America, according to the Federal Bureau of Investigation (FBI). … Read More »
Alvery Bartlett: Ex-Aegis Advisor Faces $2mm Complaint
Former Clayton, Missouri financial advisory Alvery Bartlett (CRD# 13975) recently received an investor complaint alleging that his advice resulted in seven-figure damages. Financial Industry Regulatory Authority records show that he was previously registered as a broker with Aegis Capital and Arete Wealth Management, among other firms.
Joseph Gibbons: Annuity Complaint Against Merrill Lynch Advisor
Wayzata, Minnesota financial advisor Joseph Gibbons (CRD# 1060467) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch.
John Nelson: Why Did Wells Fargo Fire IFG Advisor?
Corpus Christi, Texas financial advisor John Nelson (CRD# 1084135) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former Wells Fargo Clearing Services representative is now registered as a broker with Independent Financial Group.
Barry Bellina: Magnolia Advisor Lands Investor Complaint
A recent investor complaint against Metairie, Louisiana financial advisor Barry Bellina (CRD# 1122429) concerned an insurance investment. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with MML Investors Services, whose website describes him as a representative of Magnolia Wealth Strategies.
Adam Steen: UBS Fires Bright River Private Wealth Advisor
Memphis, Tennessee financial advisor Adam Steen (CRD# 2231499) was recently fired by his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority records show that the former UBS broker is now registered with Kestra Investment Services, operating as a representative of Bright River Private Wealth.
Ian Biggs: Merrill Lynch Advisor Faces New Complaint
San Diego, California financial advisor Ian Biggs (CRD# 7002430) allegedly misrepresented an investment, according to a recent investor complaint. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with Merrill Lynch, having previously been registered with JP Morgan Securities.
Justin Roberto: Tesfaye Advisor Fired by MassMutual
Alexandria, Virginia financial advisor Justin Roberto (CRD# 7235058) was recently fired from his former member firm in connection with alleged rule violations. Financial Industry Regulatory Authority and Securities and Exchange Commission records show that the former MML Financial Services broker is currently registered as an investment advisor with Tesfaye O’Neill Financial.
